Regulatory Spotlight: The Heightened Focus on Insider Trading and Market Abuse Due to COVID-19
The SEC, FCA, SFC, and FINRA have called out their continuing focus on detecting and punishing insider trading, market abuse, and other misconduct due to increased risks during the COVID-19 crisis. This webcast will feature the insights and expertise of former regulators Carlo di Florio, ACA Partner and Chief Services Officer, and former Director of the SEC’s OCIE, and Daniel Hawke, Partner at Arnold & Porter and former Director of the SEC’s Market Abuse Unit, as well as ACA's Michael Lehman, Partner, and Flavia Lamb, Director.
Join us as we discuss the current regulatory climate and what firms need to know to protect their business.
This webcast will cover:
- New and emerging risks firms should be aware of
- What regulators expect firms to be doing to detect market abuse in this environment
- Practical steps firms can take to strengthen their surveillance programs